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Clarification of Information Requested for Recognition of a 

Compartment

Introduction

This document describes the basic information that the Animal and Plant Health Inspection 

Service (APHIS) requires from official veterinary authorities1 to initiate a compartmentalization

evaluation in accordance with Title 9, Code of Federal Regulations, Section 92.2(b).

A compartment is an epidemiologically distinct animal subpopulation defined by husbandry, 

management, and biosecurity practices, to which a health status for one or more diseases can be 

assigned. A compartment is made up of at least two sites or facilities, known as “components”. 

An approved compartment, in an approved compartmentalization program, produces a tradeeligible animal or product known as the “commodity”. For example, components of a 

compartment whose commodity is hatching eggs or day-old chicks could include a feedmill, 

farm, hatchery, and/or egg depot. 

For the purposes of international trade, APHIS recognizes the compartmentalization program of 

the official veterinary authority of the requesting region and recognizes individual compartments 

overseen by the official veterinary authority. For APHIS to approve a compartment, the 

compartment must be clearly defined and formally recognized by the official veterinary 

authority.

A compartmentalization evaluation typically consists of initial information gathering, a site visit, 

and a risk assessment. Any resulting regulatory action to recognize a region’s 

compartmentalization program, or to recognize individually approved compartments, must 

reflect the risk assessment conclusions. The pace of an APHIS evaluation largely depends on the 

quality of the information received.

To facilitate the assessment process, please submit all information in English. If submitted 

information contains confidential business information that would not normally be disclosed to 

the public, please indicate specifically which words, paragraphs, or pages contain confidential 

business information. It is APHIS’ intent to protect confidential business information in 

accordance with legal and regulatory obligations and practices.

1. Scope of the evaluation

a. Provide a detailed description of the proposed compartment and maps showing the 

following:

i. The components of the compartment, including size (by species and number for 

farms, by commodity and volume produced for other components), and provide maps 

showing the geographical distribution of the components, if possible.

ii. Controlled access zones that only authorized personnel or vehicles may enter

 1 At this time, all components of a compartment must be in one country. 
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iii. Biosecure zones in which the high biosecurity standards for the disease(s) of concern

apply

iv. Additional zones and designations (if any)

v. Main cities and towns within 10 km of any of the compartment components.

vi. Main roads, railways, and air and sea ports within 10km of any of the compartment 

components

vii. Locations of the following entities:

• Headquarters of the official veterinary authorities of the country in which the 

compartment operates

• Headquarters of the entity that oversees the biosecurity and management of the 

compartment (i.e. company headquarters)

• Central and regional official laboratories and other laboratories that conduct 

testing for the disease(s) of concern in the compartment

b. Identify the animal commodity/ies that the compartment produces that the official 

veterinary authority requests to remain trade-eligible in the event of a disease outbreak.

Estimate the annual production volume of each commodity by the compartment.

c. Specify the disease(s) for which an APHIS evaluation is requested. (APHIS will 

determine the disease(s) to which the compartmentalization request will apply.)

2. Veterinary control and oversight

The official veterinary authority of the country in which the compartment operates should provide 

sufficient information for APHIS to assess the infrastructure of the official veterinary services and the 

ability of the official veterinary authorities to oversee animal health activities, monitor for disease, and 

implement disease control measures in the compartment. The questions below are designed to elicit a 

comprehensive view of the oversight and authority for animal health activities in the compartment; the 

organizational structure and function of the official veterinary authority; and the personnel, financial, 

and physical resources available in and to the compartment for veterinary services.

a. Describe the organizational structure of the official veterinary authority that oversees 

the compartmentalization program, and certifies individual compartments.

b. Describe the official veterinary authority’s system for registering and certifying 

compartments, and individual components of compartments. Indicate any recordkeeping 

requirements or practices, including systems for recording and reporting changes in 

inventory.
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c. Legal authority for animal health activities related to compartmentalization.

i. Provide copies (in English) of the legal acts and regulations that grant the 

authority for the official veterinary services to conduct or audit the following animal 

health activities:

• Site or facility inspections (e.g. farm)

• Import, export, and internal movement controls (e.g. quarantine)

• Vaccination for the disease(s) under evaluation

• Surveillance for the disease(s) under evaluation

• Control and eradication of the disease(s) under evaluation

• Emergency response activities

• Seizure, depopulation, and compensation

• Certification and recognition of the compartment for which the veterinary 

authority is requesting an APHIS evaluation

d. Describe how suspicion or confirmation of reportable diseases is communicated by 

non-compartmentalized and compartmentalized entities to the official veterinary 

services and provide a copy (in English) of the pertinent legal act or regulation.

e. Describe the legal authority of the official veterinary services to dissolve an 

approved compartment, i.e. to stop trade eligibility of compartment commodities.

f. Describe compartment inspection and certification activities conducted by the 

official veterinary services and the corrective action system for noncompliance with 

compartmentalization protocols. Provide protocols, if available.

g. Describe the financial resources of the official veterinary authority of the country in 

which the compartment operates that are dedicated to their compartmentalization 

program. Include the budget for the most recent fiscal year and sources of funding 

(governmental and nongovernmental).

h. Organizational structure of the compartment

i. Provide organizational diagram(s) of the entities (e.g. company) that oversee the 

compartment. 

ii. Describe the functions of each component of the compartment and the division of 

responsibilities among each of them. What procedures are in place to ensure coordination 

and communication among these entities?

iii. Describe human resources (i.e. staffing) and their roles and responsibilities (e.g. 

auditing). 

• Indicate the minimum qualifications required for veterinary and technical staff 

employed full-time by the compartment. Describe the training requirements for 

new and established staff, as well as any pertinent simulation or field exercises 

conducted in the last 3 years.
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• Indicate the number of veterinarians and veterinary technicians that perform 

work for the compartment but are not full-time employees of the compartment, 

such as consultants. Describe the procedures for authorization, the policies in 

place to safeguard against conflicts of interest, and any requirements for 

supervision by the official veterinary authority.

vi. Identify any governmental or nongovernmental entities other than the official 

veterinary authority that participate in, monitor, or provide oversight of official animal 

health and disease control activities in the compartment. Describe the roles and 

responsibilities of these entities.

v. Describe the compartment’s budget for conducting animal health activities, 

including the budget to support biosecurity practices, vaccines and medications, 

facilities maintenance and repair, staffing, and transportation.

3. Disease history and vaccination practices

The official veterinary authority of the country in which the compartment operates should provide 

sufficient information to enable a thorough understanding of the history of the disease(s) under 

evaluation in the compartment and its surrounding territory, including prior control measures and 

revisions to those measures as appropriate, to facilitate APHIS’ assessment of export risk.

a. History of disease outbreaks 

i. Provide maps showing the location(s) of cases and/or outbreaks of the disease(s) 

under evaluation, in both wild and domestic species, that have occurred in the country in 

which the compartment operates within the last 5 years. For each outbreak, provide the 

following information:

• Species affected

• Number of animals and premises involved

• Mechanism by which the case or outbreak was detected

• Probable source of infection

• Results of the epidemiological investigation

• Control measures implemented

• Disposition of infected and exposed animals

• Time required for control and eradication

ii. Provide a map showing the range of any known wildlife reservoirs of the 

disease(s) under evaluation.

iii. Provide maps and a description of the outbreak history within the component 

AND within the country in which the component operates of the compartment, including 

biosecurity measures and management practices that have been implemented since the 

resolution of the last outbreak.
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b. Vaccination practices

i. Provide the following information concerning vaccination practices in the 

compartment AND in the country in which the compartment operates against the 

disease(s) under evaluation:

• Source and type of vaccines used

• Schedule or timing of vaccination

• Target populations

• Number of animals vaccinated annually

• Measures in place to regulate vaccine production and use

• Persons authorized to administer vaccine

• Required training for authorized personnel

• Recordkeeping requirements

ii. Describe the mechanisms in place to distinguish between vaccinated and

unvaccinated animals, including animals found to be positive during serological 

surveillance.

4. Livestock and commodity movement and traceability

The official veterinary authority of the country in which the compartment operates should provide 

sufficient information for APHIS to assess the movement patterns of animals, commodities, people, and 

other fomites within, into, and out of the compartment.

a. Identification and registration

i. Describe how components within the compartment are registered, and how such 

identification and registration distinguishes them from other facilities in the country. 

Provide copies (in English) of regulations pertaining to animal identification, commodity 

traceability, and component registration, focusing on species susceptible to the disease(s) 

under evaluation.

ii. Describe the system used to identify individual animals or groups of animals, or 

individual commodity/ies or groups of commodities, within the compartment and identify 

the implementing authority. Indicate any recordkeeping requirements or practices, 

including what records are kept, by whom, where, and for how long.

iii. Describe compliance monitoring and enforcement activities as they pertain to 

component registration, animal identification and registration, commodity traceability, as 

well as the corrective action system for noncompliance.

b. Livestock and commodity movement into the compartment

i. List the type, source, and amount of animals, products (e.g. feed), supplies, and 

equipment that are brought into the compartment from outside of the compartment, and the 

frequency of their introduction.
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ii. Provide process diagrams, flow charts, or descriptions showing the movements of 

these entities into the compartment. Describe the husbandry, management, and 

biosecurity protocols implemented to prevent the introduction of disease agents into the 

compartment by these entities.

iii. Describe the procedures by which the compartment ascertains, documents, and 

certifies the eligibility, disease status and/or biosecurity measures required for animals, 

products, supplies, and equipment brought into the compartment from outside of the 

compartment. 

iv. Describe any quarantine, isolation, or testing practices intended to identify and 

prevent the introduction of disease agents into the compartment by livestock and 

commodities.

v. Describe the mechanisms in place to track live animals or commodities moved 

into the compartment. How are tracking records maintained and who is responsible for 

oversight of the tracking system?

vi. Describe compliance monitoring and enforcement activities as they pertain to 

animal and commodity movements into the compartment, as well as the corrective action 

system for noncompliance.

c. Livestock and commodity movement within the compartment.

i. List the entities that may come in to contact with the species within the 

compartment that are susceptible to the disease(s) under evaluation or could contribute to 

the spread of the hazards under evaluation. These entities may include livestock, wildlife,

or other animals; and fomites such as employees, visitors, vehicles, feed, equipment, and 

others. 

ii. Provide process diagrams, flow charts, or descriptions showing the movements of 

these entities into the compartment. Describe the husbandry, management, and 

biosecurity protocols implemented to prevent the introduction of disease agents into the 

compartment by these entities.

iii. Describe any official requirements or management practices for movement of 

susceptible livestock species or commodity/ies from one component to another within the 

compartment (e.g., a health certificate, permit, or other notification or authorization 

form). Indicate any recordkeeping requirements, including what records are kept, by 

whom, where, and for how long.

iv. Describe compliance monitoring and enforcement activities as they pertain to 

animal and commodity movements within the compartment, as well as the corrective 

action system for noncompliance.

d. Livestock and commodity movement out of the compartment

i. Identify the exit point/export point for any commodity that would be trade eligible 

under the approved compartment.
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5. Epidemiological separation from potential sources of infection

The official veterinary authority of the country in which the compartment operates should provide 

sufficient information to enable APHIS to evaluate the ability of the compartment to prevent incursions of 

the disease(s) under evaluation. Relevant risk factors include the presence of the disease(s) in the country 

in which the compartment operates with epidemiological links to the requesting compartment, biosecurity 

practices to prevent disease introduction, trading practices, and inspection procedures by the official 

veterinary services.

a. Biosecurity 

i. Describe the physical separation (e.g. fencing, natural borders) of each component 

within the compartment.

ii. Provide process diagrams or flow charts of each component of the compartment 

that show where and how people, products (e.g. feed), supplies, equipment, and animals 

can be moved into or out of the component. Provide a description of the methods used to 

deter unauthorized entry into biosecure areas for each component (e.g. signs, locks, 

fences).

iii. Describe the routine biosecurity measures (or other husbandry or management 

practices) implemented to prevent introduction of disease into the compartment from 

adjacent holdings or facilities.

iv. Provide the written routine biosecurity protocols, and documentation of training 

by all personnel responsible for implementing these protocols.

v. Are additional biosecurity measures, or other contingencies, implemented during 

a high risk period (e.g. incidence of disease in the country)? If so, provide protocols and 

plans, including documentation of training by all personnel responsible for implementing 

these protocols.

vi. Describe cleaning, sanitation, and control of vehicles prior to entering biosecure 

areas.

c. Requirements for entry

i. Describe disease testing requirements for the disease(s) under evaluation, 

veterinary inspection requirements, and/or quarantine requirements for live animals 

entering the compartment. Where are the quarantine facilities located and who maintains 

oversight?

ii. Describe the documentation required for entry of commodities or other potential 

carriers that could harbor agents of the disease(s) under evaluation into the compartment

and provide examples of pertinent documents.

d. Inspection practices and procedures

i. Describe in detail the protocols and standard operating procedures for veterinary 

inspection and control of animals or commodities or fomites introduced into the 

compartment from outside of the compartment, including the system for selecting 
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consignments for physical examination and sampling. Provide copies (in English) of 

pertinent guidance documents, protocols, and written procedures.

ii. Describe any other procedures at compartment entry points intended to prevent

disease incursion through introduction of animals or commodities or other fomites into 

the compartment.

iii. Describe the procedures for disposition of animals, commodities, or fomites that 

do not pass official veterinary inspection or are found to be noncompliant with 

compartment protocols.

6. Surveillance

The official veterinary authority of the country in which the compartment operates should document the 

existence of a surveillance system sufficient to ensure early detection of the disease(s) under evaluation. A 

combination of active surveillance and passive surveillance may be necessary to accomplish this goal. 

Collection and analysis of disease and infection data should be sufficient to provide confidence in the 

disease status of the country.

a. Active surveillance

i. Provide planned and actual surveillance data for domestic livestock in the 

compartment, and livestock and wildlife in the country in which the compartment 

operates, near the compartment, for each disease under evaluation:

• The target population(s)

• Risk factors considered in the surveillance approach

• Targeted prevalence and confidence level for detection

• Types of samples collected

• Frequency of sampling

ii. Provide the targeted and actual numbers of samples collected and tested by 

species. Indicate the results of screening and confirmatory testing for the past 3 years, 

including any false positive results. Describe the procedures for investigating positive 

results.

iii. Specify the entity or unit responsible for analyzing surveillance data and updating 

the surveillance plan(s). How often does this occur?

b. Passive surveillance

i. Describe the type and extent of passive surveillance activities within the 

compartment for each disease(s) under evaluation, including who does the reporting, the 

type of information reported, and how reports are verified.

ii. Describe any outreach activities of the official veterinary services and of 

compartment management designed to increase awareness, recognition, and reporting of 
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the disease(s) under evaluation among producers, industry members, official and private 

veterinarians, and the general public.

iii. Provide the number of suspicious cases of each disease under evaluation that were 

reported to the official veterinary authority over the past 3 years and describe the followup measures taken in each case.

7. Diagnostic laboratory capabilities

The official veterinary authority of the country in which the compartment operates should clearly 

document the animal health laboratory system, diagnostic procedures, and quality assurance measures to 

demonstrate effective support of surveillance activities for the disease(s) under evaluation.

a. Provide an organizational chart of the animal health laboratory system that the 

country uses to conduct surveillance activities for the disease(s) under evaluation.

Specify which laboratories test samples from the compartment. Indicate which 

laboratories conduct screening tests and which laboratories conduct confirmatory tests 

for the disease(s) under evaluation. Describe the certification or accreditation 

requirements for these laboratories, and whether those requirements are consistently 

met.

b. Indicate the number of scientists and administrative staff employed in each 

laboratory, and describe the procedures in place to ensure continued proficiency in 

diagnostic procedures.

c. Indicate the diagnostic tests or procedures used to detect the agents of the disease(s) 

under evaluation, or evidence of infection with the agent, including the sensitivity and 

specificity of each. What tests or procedures are conducted for agent isolation, 

identification, and typing? Describe how diagnostic tests are approved or licensed for 

use.

d. Describe the procedures for sample collection from domestic livestock and wildlife, 

as well as the procedures for transport of samples to the laboratory.

e. Describe the biosecurity measures followed while conducting diagnostic tests or 

procedures to detect the disease(s) under evaluation. Provide copies (in English) of 

pertinent guidance documents.

f. Describe the procedures for reporting test results, including to whom they are 

reported and the average time between sample collection and reporting. Estimate the 

time required to confirm a diagnosis.
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g. Describe any projections for laboratory resource needs in the event of an outbreak. 

How would the requesting country, and the compartment, meet the projected needs.

8. Emergency preparedness and response

The official veterinary authority of the country in which the compartment operates should provide 

sufficient information for APHIS to assess the emergency preparedness measures and response capability 

and document procedures in place to notify trading partners and other international entities of a disease 

outbreak.

a. Provide a copy (in English) of the contingency plan for each compartment 

component for each disease under evaluation that would be implemented during a high 

risk period (e.g. disease detection in the country). If not addressed in the 

compartment/component contingency plan, please describe the required actions of the 

official veterinary authority of the country in which the compartment operates and all 

other entities involved in the response to the suspicion or confirmation of a disease 

outbreak, including the procedures for imposing and releasing quarantines, conducting 

epidemiological investigations, monitoring and/or depopulating affected premises, 

disposing of carcasses, and providing indemnity.

b. Specify sources of funding for emergency response measures in the event of a 

disease outbreak, including indemnity and compensation for destroyed animals and/or 

property.

c. Describe the procedures in place to ensure that the official veterinary authority of 

the country in which the compartment operates inform pertinent international entities 

of a disease outbreak in a timely manner.

d. Describe enhanced management procedures or biosecurity practices during periods 

of high risk (e.g.. incidence of the disease in the country). Please provide relevant 

protocols, in English.